About our role:We are seeking an experienced Operations Director to join our dynamic team within our Broker-Dealer operations. The ideal candidate will play a pivotal role in ensuring seamless operational processes, mitigating risk, and maintaining compliance with regulatory standards. This position requires a proactive approach to identifying inefficiencies, implementing controls, and optimizing procedures to enhance operational effectiveness.
Key Responsibilities:- Operational Oversight: Monitor daily operations, trade settlements, reconciliations, and financial transactions to ensure accuracy and compliance.
- Risk Management: Identify, assess, and mitigate operational risks, developing strategies to enhance controls and minimize errors.
- Regulatory Compliance: Ensure adherence to SEC, FINRA, and other regulatory requirements while maintaining proper documentation and reporting.
- Process Improvement: Analyze existing workflows, recommend enhancements, and implement automation initiatives to boost efficiency.
- Audit & Internal Controls: Collaborate with internal audit teams to ensure all processes align with industry best practices and regulatory standards.
- Cross-functional Coordination: Work closely with Clearing, Finance, AML, Compliance, Cash Management and Stock Transfer teams to streamline operations.
- Issue Resolution: Investigate trade discrepancies, reconcile accounts, and resolve escalated operational issues with precision and urgency.
Requirements- 10+ years of experience in Operations Control within a Broker-Dealer environment.
- Strong understanding of SEC, FINRA, and regulatory frameworks governing Broker-Dealer operations.
- Expertise in trade reconciliations, risk management, and compliance monitoring.
- Proficiency in industry systems (e.g., DTCC, OCC, Bloomberg, or similar platforms).
- Exceptional analytical and problem-solving skills with attention to detail. Effective communication and collaboration abilities in a fast-paced environment.
- Understanding of an omnibus clearing model
BenefitsWhat We Offer:- Comprehensive Paid Medical Benefits: We prioritize your health with a robust medical benefits plan that covers you and your dependents
- 401k Employer Contribution: We match your contributions to help you grow your retirement savings
- Generous Paid Time Off & Paid Holidays: Take the time you need to recharge and pursue your passions with our generous paid time off policy
- Opportunities for Professional Growth & Development: Invest in your future through hands-on learning, skill-building, and cross-functional work
- Performance Based Bonuses: Your hard work deserves recognition! Enjoy performance-based bonuses that reward your contributions to our team's success
Base pay for a successful applicant will depend on a variety of job-related factors, which may include education, training, experience, location, business needs, or market demands. The expected salary range for this role is
$100,000 - $145,000. This role is also eligible to participate in our discretionary bonus plan.
Disclaimer:The above information on this description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job.
Employment with Futu Holdings Limited, including all subsidiaries, is on an at-will basis. This means that either the employee or the Company may terminate the employment relationship at any time, with or without notice and with or without cause, subject to applicable law. Nothing in this job posting or description should be construed as creating an express or implied contract of employment or guarantee of employment for any specific duration. 
